Grievance Policy (GCRCB)

How to use this policy

(1) Copy this template in its entirety and edit as necessary to align with your organizational context. (2) Remove the supplemental guidance text in blue boxes and replace the yellow highlighted text with the actual details of your organization.

Note: The content in the matrices below are best viewed on a desktop.

About this policy

A grievance is a formal complaint or expression of dissatisfaction from an employee regarding aspects of their work, such as working conditions, treatment by colleagues & management, and workplace policies.

[Insert organization name] is committed to fostering a respectful and supportive workplace environment, where every employee feels valued and heard. This means recognizing the importance of addressing grievances effectively and fairly.

This policy provides a structured process for employees to raise grievances - concerns, issues, or complaints related to their work, working conditions, or relationships with colleagues.

This policy contains the general escalation points, steps for filing a grievance, the investigation process, and the methods for reaching a resolution.

Scope

This policy covers all staff of [Insert organization name], regardless of their position, tenure, or status, and extends to grievances arising within the workplace and in any work-related context, including but not limited to business trips, external work engagements, team outings, and office social events.

The policy covers grievances against colleagues, management, and external parties such as clients, suppliers, or visitors, and applies irrespective of the employee’s ancestry, age, color, disability, genetic information, gender expression, gender identity, marital status, medical condition, military or veteran status, national origin, race, religion, reproductive health decision making, sex/gender, sexual orientation or other protected characteristics.

Escalation Matrix

This matrix outlines responsibilities of specific personnel in the organization for communicating grievances.

Note that these are general guidelines. Each organization may have more complex structures and may need to adapt this according to their specific context. You may use this template to guide assigning responsibilities.

Regarding external escalation, the aggrieved or other potential reporters may directly report to the police, legal authorities, and regulatory bodies in egregious cases (e.g. urgent safety concerns, potential crime, etc.)

[Insert name(s) & contact details] encourages the aggrieved or other potential reporters to consider the complexity of the issue before escalating directly to external parties.

See Legal Authorities / Agencies assisting in Misconduct Cases for guidance on possible external entities to escalate to.

HR, if available, is involved throughout the process of staff grievances. See responsibilities of HR below.

This policy requires the organization to bring the grievance(s) to the board’s attention when they are against leadership (e.g., Executive Director or CEO, Board Members, or staff overseeing the grievance process such as the HR generalist / manager).

Team members can still report such grievance(s) to managers or directors as described in the [Insert name(s) & contact details] escalation matrix, but managers or directors are required to bring any such grievance(s) directly to the board's attention.

For organizations without a board, share the grievance(s) with the person or group ultimately responsible for organizational governance.

General Procedures

This policy describes procedures for filing grievances, complaints, allegations, & investigations, etc.

On Informal Reporting

[Insert organization name] strongly encourages its staff members to initially raise any grievances informally between each other or with the informal mediation of senior staff or management, as this approach often facilitates swifter and more cooperative solutions. 

However, when a grievance is of a serious nature, or if informal attempts do not resolve the issue, employees are urged to raise the matter formally to ensure it receives the necessary attention and structured resolution it deserves.

On Formal Reporting

1. The aggrieved submits the grievance in writing.

The written grievance should state:

• the nature of the complaint;

• the relevant facts, dates, and names of individuals involved, as well as the names of anyone who might have witnessed the grievance.

The aggrieved should submit the grievance according to the escalation matrix. However, some alternative cases may arise due to conflict of interest. 

See the matrix below for guidance.

Organizations will need to adapt these reporting options to their context with two clear goals:

• all personnel have a clear understanding of who they can report concerns to; and

• there is guidance and alternative reporting options that accounts for potential conflicts of interest.

See guidance and templates here for filing a grievance letter:

• Grievance Letter Template | ACAS

• Grievance Letter Checklist

• Grievance Letter Template | Citizen's Advice 

2. The receiver of the grievance must confirm receipt of the grievance letter.

The receiver of the grievance must respond and commit to help resolve the grievance in a timely manner. 

If someone else is in the organization is better positioned to resolve the grievance, the initial receiver must communicate and or escalate the grievance to the relevant parties guided by this policy.

Investigation

The investigation phase begins upon receiving the grievance report. The organization will carry out the necessary investigations of grievances without unreasonable delay. Investigations should be kept confidential wherever possible.

1. Designated personnel decide: 

   1. The scope of the investigation (e.g. facts to establish, issues to clarify, personnel involved, evidence to collect and in what order, etc.)

      See template on preparing and updating investigation report here:

      • Preparing to investigate - Investigations at work | ACAS

      • Investigation plan and report templates | ACAS

   2. The provisional timeline for resolution

   3. Who will be investigating the matter

      1. Where possible, a qualified person who is not involved in the case will carry out the investigation (e.g. another manager, director, or someone from HR who is trained in conducting workplace investigations). 

      2. In cases where the matter to be investigated appears to be clear and the facts are not in dispute, the role of investigator may be carried out by the Direct supervisor/manager.

      3. If the evidence to be investigated is more serious or complex (such as potential gross misconduct, sexual misconduct, discrimination or bullying) then, where possible, appoint more senior or experienced personnel (Directors or HR generalist / manager).

      4. In exceptional circumstances, the organization may appoint an external consultant detached from the matter to investigate.

         In smaller organizations, the Executive Director / CEO might have to do the investigation themselves.

         If it is not possible to investigate a complaint without tasking it to someone involved in the incident (including Board members), consider involving an external third party for investigation.

2. [Insert organization name] will arrange investigatory meeting(s)

   1. The meeting should be arranged ideally within one (1) week of receiving a written grievance alongside other investigative actions.

   2. The investigator will formally inform the personnel under investigation and invite them to the investigation meeting(s). 

   3. In most situations, the involved personnel should be fully informed about the investigation into their actions. An investigation should only be concealed if there are very good reasons (e.g. ability to influence witnesses or tamper with evidence.)

      See template on preparing written communication for informing relevant parties for the investigation meeting:

      • Letter telling an employee they're the subject of an investigation | ACAS

   4. Staff involved in the investigatory meeting may bring companion(s) to the meeting(s).

   5. All relevant parties should make every effort to attend. If key attendees or their companion(a) cannot attend at the time initially specified, they should let the organization know as soon as possible and the organization will try, within reason, to agree on an alternative time.

3. During the meeting(s), the investigator will establish the facts of the case.

   1. Investigators must refrain from asking questions in an adversarial manner.

   2. Investigators should ask if there are other witnesses that may shed more light on the case.

   3. Investigators should provide all attendees with a copy of their statement(s) to confirm accuracy.

   4. Investigators must refrain from considering disciplinary action in this meeting. An investigatory meeting should not by itself result in any disciplinary action. If it becomes apparent that formal disciplinary action may be needed then this should be dealt with at a formal disciplinary hearing.

• See a more comprehensive guide on how to conduct workplace investigation meetings here:

  • UK - Conducting workplace investigations | ACAS 

  • US (California) - Conducting Workplace Investigations in California

• On other resources on principles of workplace investigations, see Guiding Principles for Conducting Workplace Investigations.

• On handling decision making & appeals, see section on Adjudication

• On disciplinary action, see section on Sanctioning & Disciplinary Action

Adjudication

[Insert organization name] has a formal process to resolve disputes or complaints through an authoritative decision or judgment.

1. If an investigation results in a defendant(s) having a case to answer, the next step is to hold a disciplinary hearing.

2. Before the disciplinary hearing:

   1. The hearing should occur promptly following the investigation, while allowing the defendant(s) adequate preparation time. 

   2. [Insert organization name] will inform the defendant(s) in writing of the alleged misconduct or performance issue, evidence gathered during the investigation, other relevant information, and details of the hearing (date, time, location), and potential outcomes, along with the right to have companion(s) for the disciplinary hearing. 

3. In misconduct cases, where practicable, [Insert organization name] will assign different personnel to carry out the investigation and the disciplinary hearing.

4. During the disciplinary hearing:

   1. Representatives from [Insert organization name] management, the defendant(s), along with their companion(s) attend.

   2. [Insert organization name] will present the allegations and the supporting evidence during the hearing.

   3. The defendant(s) presents their case, responds to allegations, asks questions, calls witnesses (given sufficient notice), responds to witness information, and decides if their companion(s) speaks on their behalf.

   4. The companion(s) may present and summarize the employee's case, respond to comments, interact with the defendant(s) during the hearing, and take notes. 

   5. While [Insert organization name] may permit the companion(s) to answer questions for the employee, it is not legally mandated to do so.

   6. If the defendant(s) is absent or on sick leave during a disciplinary hearing, [Insert organization name] should temporarily halt the disciplinary process until the defendant(s) returns to work. Should the absence continue or extend due to sickness, [Insert organization name] might consider alternative arrangements to facilitate participation. If the defendant(s) still cannot or refuses to attend, [Insert organization name] must review the case and make a reasoned decision, considering organizational rules on non-attendance at disciplinary hearings, precedent cases, the gravity of the disciplinary issue, the defendant’(s) record and tenure, and potentially obtaining a medical opinion on the defendant’(s) fitness to attend the hearing, subject to the their consent.

5. At the end of the disciplinary hearing:

   1. [Insert organization name] designated personnel will thoughtfully deliberate on the case before making a decision. 

   2. [Insert organization name] must inform the defendant(s) of the subsequent steps and provide a timeframe, as well as maintain a confidential written record of the hearing.

   3. [Insert organization name] will write to the relevant parties regarding the decision of the case and or notify them on further action required.

6. Upon the receiving of the decision of the case, the defendant(s) must either face the determined consequences, or appeal the decision.

   1. Appeals must be submitted in writing, stating the full grounds of the appeal, within one (1) week of the date the decision was received. 

7. On receiving the appeal, senior management must hear (or read) the appeal, carry out another investigation if necessary, see if a different outcome is appropriate, and provide a different outcome if appropriate. 

   1. Appeals should generally be evaluated to determine if: 

      1. the procedure was followed, and;

      2. the outcome was fair

   2. The senior management team will hold an appeal meeting, normally within two (2) weeks of receiving the appeal. This should be dealt with impartially by a manager who has not previously been involved in the case. 

   3. The senior management team will confirm the final decision in writing, usually within one (1) week of the appeal hearing. There is no further right of appeal after this.

In smaller organizations, the Executive Director / CEO might have to do the adjudication themselves.

Sanctioning & Disciplinary Action

[Insert organization name] will impose penalties or corrective measures on individuals or entities found to have violated policies, rules, or standards of conduct. The following matters are the types of sanctions & disciplinary action:

1. Informal Warning

   For minor misconduct, an informal discussion or 'verbal warning' might suffice. [Insert organization name] will keep a confidential written record of these informal warnings.

2. Written Warning(s)

   A formal step, written warnings, are issued post-disciplinary procedure, detailing the misconduct, required changes with deadlines, potential consequences of non-compliance, and the warning's duration.

   1. First Written Warning. Usually the initial response to confirmed misconduct.

   2. Final Written Warning. Issued if misconduct is repeated and the employee does not improve within a specified timeframe, or directly in cases of severe misconduct.

   Failure to comply with a final written warning may lead to dismissal

3. Dismissal

   Dismissal may occur in cases of gross misconduct or repeated disciplinary infractions following a final written warning. It should be executed by an authorized manager, with the employee promptly informed of the contract termination date, notice period, and appeal rights.

4. Other Disciplinary Actions

   Depending on the issue's severity, alternatives to dismissal, such as demotion, will be considered, ensuring compliance with the defendant(s)’ contract and thorough discussion with them on these disciplinary actions.

No disciplinary action

When no action is warranted after a disciplinary procedure, [Insert organization name] will conclude the disciplinary process, discussing the outcome(s) privately with the involved employees and any other staff aware of the proceedings.

Other notes on disciplinary action

• [Insert organization name] personnel could face disciplinary action for misconduct outside work depending on its impact on the organization (e.g. staff behavior in front of external clients at a work party reflects badly on the organization, harassment between employees even those that take place at non-work events is prohibited, etc.)

• Throughout the disciplinary process, [Insert organization name] shall maintain ongoing communication with both the employee subject to disciplinary action and any other impacted staff members. 

• [Insert organization name] will safeguard the confidentiality of all personal information.

• Navigating a disciplinary procedure can significantly strain an employee's mental health and well-being. [Insert organization name] will prioritize their employees' well-being and mental health throughout this process.

• Should employee(s) involved subject to disciplinary action are contemplating resignation (anticipating a potential dismissal), [Insert organization name] should engage in discussions with them regarding their apprehensions, and advocate for the completion of the disciplinary procedure prior to making any decisions regarding resignation.

• [Insert organization name] will document all disciplinary procedure's execution for future reference.

In smaller organizations, the Executive Director / CEO might have to do the sanctioning & implementing disciplinary action themselves.

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